B/D News & Products
On January 8, James Cayne of Bear Stearns announced his plan to step down as CEO, effective immediately, though he will stay on as chairman...
Woodbury's Brian Murphy Takes FSI Chair
Woodbury Financial Services Chairman Brian Murphy will chair the Financial Services Institute's (FSI) board of governors for 2008, according to a January 2 FSI announcement.
FSI Elects '08 Leaders
The Atlanta-based Financial Services Institute, or FSI, says the industry group's board of directors has unanimously elected Brian Murphy, chairman of Woodbury Financial Services of Woodbury, Minn., a
Sweeping changes are whirling across the independent broker/dealer landscape in 2007, with major changes at, and coming from, the NASD, SEC, and potentially, Congress. Although...
"To be, or not to be?" a fiduciary (with all apologies to Bill Shakespeare) is the question of the hour for broker/dealers. While nobody is...
The independent model is the right way to do it
Rulemaking by enforcement, product suitability and -- of course -- the NASD/NYSE merger were hot topics at this year's Financial Services Institute OneVoice Broker/Dealer Conference...
New President for ING Advisors Network
ING announced March 21 that Randall Ciccati, president and CEO of PrimeVest Financial Services, will replace Valerie Brown as president of ING Advisors Network, effective April 1.
An Independent Voice
The Financial Services Institute (FSI) kicked off its annual conference at Disney World in Orlando, Florida, on January 29 with the group's new chair, John...
NASAA, the state securities regulators association, reported that between 2004 and 2005, 26% of the 3,635 state enforcement actions dealt with the financial exploitation of...
A Catalyst of Change
Perhaps the catchword for independent broker/dealer business for 2007 is change. As John Simmers becomes chairman of the Financial Services Institute (FSI), unprecedented change is...